Displaying 477 results
Wells Fargo loses defamation fight to fired broker
Amy Webster was a former bank broker for Wells Fargo Advisors for 13 years and claims the company made 'defamatory' remarks on her Form U5
Finra denies J.P. Morgan effort to clamp down on breakaway brokers
Arbitrators also rebuffed brokers’ counterclaims of defamation and unfair competition
Finra proposal to tighten expungement process heads to SEC
The rule would establish a special roster of arbitrators for expungement and set deadlines for requests
Some lawyers warming up to virtual Finra arbitration hearings
New statistics from regulator show slow pick-up, but concerns remain over use of Zoom
Court upholding $6 million award against Credit Suisse could bolster clawbacks
Arbitration lawyer says decision sends signal to ‘Wall Street bullies’; Credit Suisse points to wins in other cases
401(k) arbitration agreements still not mandatory
Sponsors have interest in adding them to their retirement plan documents, but the courts are up in the air, lawyers said
Finra expels broker-dealer, but owner explores an appeal
Sandlapper Securities may have some fight left, says CEO Trevor Gordon
SEC approves Finra rule setting minimum fee for expungement requests
New floor of about $8,300 is meant to end the ‘$1 trick’ for brokers seeking quick clearing of records
Finra changes membership process to curb the ability to sidestep arbitration awards
New rules target brokers with pending claims that are switching firms or trying to transfer assets
Industry arbitration claims spike as coronavirus disruptions continue
Promissory note cases lead the way, signaling potential ‘employment upheaval’
